Welcome to your Capital Markets (Dealers) module:
1. What is the purpose of credit ratings for debt securities?
2. Which of the following is an example of a derivative product in the capital markets?
3. What is the main function of capital markets?
4. What is the purpose of margin requirements in the capital markets?
5. Which of the following is a type of fixed-income security that represents a loan made by an investor to a borrower?
6. What is the difference between a stock exchange and an over-the-counter (OTC) market?
7. Which of the following is NOT a benefit of using mutual funds for investment?
8. Which of the following is an example of a money market instrument?
9. Which of the following is a characteristic of debt securities?
10. Which of the following is a role of securities regulators in the capital markets?
11. Which of the following is a characteristic of preferred stock?
12. What is the role of underwriters in the capital markets?
13. What is the purpose of risk management in the capital markets?
14. What is the role of investment banks in the capital markets?
15. Which of the following is NOT a type of capital market instrument?
16. What is the purpose of a stock exchange?
17. What is the purpose of settlement in the capital markets?
18. What is the primary purpose of the Capital Markets (Dealers) module?
19. What is the purpose of an initial public offering (IPO)?
20. Which of the following is a characteristic of equity securities?
21. Which of the following is a characteristic of a well-functioning capital market?
22. Which of the following is a characteristic of mutual funds?
23. Which of the following is a factor that influences the pricing of securities?
24. What is the purpose of market makers in the capital markets?
25. Which of the following is a characteristic of a well-functioning capital market?
26. What is the purpose of a prospectus in the capital markets?
27. Which of the following is a role of securities regulators in the capital markets?
28. Which of the following is a characteristic of stock markets?
29. What is the purpose of a margin account in the capital markets?
30. Which of the following is an example of a primary market transaction?
31. What is the difference between primary and secondary markets?
32. Which of the following is an example of an equity market index?
33. Which of the following is an example of a capital market product?
34. What is the role of regulators in the capital markets?
35. What is the main purpose of money market instruments?
36. What is the difference between commercial paper and certificates of deposit?
37. Which of the following is a characteristic of government securities?
38. Which of the following is an example of an equity market index?
39. What is the main purpose of an exchange-traded fund (ETF)?
40. What is the purpose of market makers in the capital markets?
